Series 26: Communications That Include A Recommendation

Taken from our Series 26 Online Guide

Communications that Include a Recommendation

Any retail communications that contain recommendations must have a reasonable basis for that recommendation and must disclose certain conflicts of interest. Specifically, the communication must disclose whether the firm makes a market in the recommended security. The communication must also disclose whether the firm was a manager or co-manager on an offering of any securities by the issuer of the recommended security within th

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